Arq Advisors Electronic Messaging Disclaimers
This message and the information contained herein (“message”) is a confidential communication between the sender and its intended recipient(s). Delivery of this message to anyone other than the recipient is unauthorized, and any other use, reproduction, distribution or copying of this message, in whole or in part, without the prior written consent of Arq Advisors LLC (“ARQ”) is prohibited. If you received this message in error, please delete it and advise the sender (by return e-mail or otherwise) immediately.
Electronic transmissions cannot be guaranteed to be secure or error-free, and this message may not be complete, accurate or current. This message shall not constitute an offer to sell or the solicitation of an offer to purchase a security. Any such offer or solicitation will be made to qualified investors only by means of an Offering Memorandum or similar document. Securities shall not be offered or sold in any jurisdiction in which such offer, solicitation or sale would be unlawful until the requirements of the laws of such jurisdiction have been satisfied. Any performance information contained herein may be unaudited and estimated. Past performance is not necessarily indicative of future results.
ARQ is a FINRA and SEC registered broker-dealer, member of SIPC.
What data privacy principles does Arq adhere to?
- Arq will process all personal data in a lawfully, fair and transparent manner;
- Arq will only collect personal data where it is necessary;
- For Arq to provide a service to you;
- For you to provide a service to Arq;
- For Arq to keep you informed of its products and services; or
- For Arq to comply with its legal and regulatory obligations.
- The personal data collected by Arq will be adequate, relevant and limited to what is necessary in relation to the specific purpose for which your data will be processed;
- Arq will take all reasonable steps to ensure that personal data is accurate and, where necessary, kept up-to-date;
- Arq will maintain personal data in a form that permits identification no longer than is necessary for the purposes for which the personal data has been collected for processing and in accordance with Arq’s record retention requirements as mandated by the Financial Industry Regulatory Authority, or other relevant regulatory body;
- Arq will hold and process personal data in a manner that ensures appropriate security;
- Arq will only share personal data where it is necessary to provide the agreed service or where it is necessary for Arq to comply with its legal and regulatory requirements.
What personal data does Arq collect and why?
In the course of providing products/services to you, Arq may collect information that is considered personal information (e.g. name, contact details, address, passport number, driving license).
As a client, contact or employee of Arq, we will require some personal information in order to verify your identity and have the applicable relationship with you. Some of this information may be required to satisfy legal obligations (e.g. to comply with obligations arising under the money laundering regulations whereas other information may be required in connection with the provision of services to you). The information collected will vary depending on the service Arq provides to you or you provide to Arq, but typically includes:
- Personal information: Such as your name, date of birth, passport number or national insurance number;
- Contact information: Including your address, telephone number and email address.
Where does Arq store my personal data?
Arq has comprehensive policies and procedures in place to ensure your personal data is kept safe and secure, with these including, but not limited to:
- Data encryption;
- Intrusion detection;
- 24/7 physical protection of the facilities where your data is stored;
- Background checks for personnel that access physical facilities; and
- Security procedures across all service operations.
How long does Arq retain personal data?
As required by its regulators, Arq is required to maintain its books and records for a prescribed period. As such, information that falls in scope of either of these requirements is retained in line with the mandated timeframe. Any information that is outside the scope of this requirement will be retained while relevant and useful, and destroyed where this ceases to be the case or where the data subject specifically requests this.
What are my rights?
Once you have provided your details to Arq, you have certain rights which apply, depending on your relationship with Arq, the information you have shared with us and Arq’s legal and regulatory obligations.
- You have the right to request a copy of the information that we hold about you. If you would like a copy of some, or all, of your personal information, please email Arq at firstname.lastname@example.org. Arq will provide this information to you within one month (with the ability to extend this by an additional two months where necessary), free of charge.
- You have the right to request that the information Arq holds about you is erased under certain circumstances including where there is no additional legal and/or regulatory requirement for Arq to retain this information.
- As a client, you have the right to request that any information Arq holds about you be provided to another company in a commonly used and machine-readable format, otherwise known as ‘data portability’.
- You have the right to ensure that your personal information is accurate and up to date, or where necessary rectified. Where you feel that your personal data is incorrect or inaccurate and should therefore be updated, please contact email@example.com.
- You have the right to object to your information being processed, for example for direct marketing purposes.
- You have the right to restrict the processing of your information, for example limiting the material that you receive or where your information is transferred.
- You have the right to object to any decisions based on the automated processing of your personal data, including profiling.
Will I be notified of changes to this policy?
Arq may, from time to time, review and update this policy. Arq will maintain the latest version of this policy on its website, and where the changes are deemed material, it will make you are aware of these.
To whom should I direct questions?
If you have any questions, concerns or complaints about the practices contained within this document or how Arq has handled your data, please email: firstname.lastname@example.org. Alternatively, you may write to: Arq Advisors, 52 Deforest ,Summit, NJBusiness Continuity Plan